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BRWM

B. Riley Wealth Management Portfolio holdings

AUM $85.5M
1-Year Est. Return 3.46%
This Fund
S&P 500
This Quarter Est. Return
-1.04%
1 Year Est. Return
+3.46%
3 Year Est. Return
+49.59%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$135M
AUM Growth
-$19.8M
Cap. Flow
-$16.3M
Cap. Flow %
-12.14%
Top 10 Hldgs %
14.08%
Holding
1,244
New
112
Increased
247
Reduced
283
Closed
141

Top Buys

Rank Stock Value
1
FXD icon
First Trust Consumer Discretionary AlphaDEX Fund
FXD
+$1.53M
2
SLB icon
SLB Ltd
SLB
+$819K
3
ATVI
Activision Blizzard
ATVI
+$811K
4
MS icon
Morgan Stanley
MS
+$801K
5
X
US Steel
X
+$773K

Top Sells

Rank Stock Value
1
FXU icon
First Trust Utilities AlphaDEX Fund
FXU
+$1.22M
2
THRM icon
Gentherm
THRM
+$1.19M
3
JPM icon
JPMorgan Chase
JPM
+$1.11M
4
FXR icon
First Trust Industrials/Producer Durables AlphaDEX Fund
FXR
+$1.08M
5
FXN icon
First Trust Energy AlphaDEX Fund
FXN
+$1.03M

Sector Composition

Rank Sector Weight
1 Energy 13.16%
2 Financials 7.77%
3 Industrials 7.53%
4 Technology 6.13%
5 Consumer Staples 4.95%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SVRA icon
1151
Savara
SVRA
$1.12B
$0 ﹤0.01%
9
– –
SWX icon
1152
Southwest Gas
SWX
$6.47B
– –
-108
Closed -$5K
SYK icon
1153
Stryker
SYK
$125B
– –
-1,687
Closed -$142K
SYNA icon
1154
Synaptics
SYNA
$4.19B
– –
-3,384
Closed -$306K
TBF icon
1155
ProShares Short 20+ Year Treasury ETF
TBF
$87.9M
– –
-900
Closed -$25K
TPR icon
1156
Tapestry
TPR
$30.8B
– –
-400
Closed -$13K
TRGP icon
1157
Targa Resources
TRGP
$58B
– –
-350
Closed -$48K
TT icon
1158
Trane Technologies
TT
$100B
$0 ﹤0.01%
13
– –
TXT icon
1159
Textron
TXT
$14.7B
– –
-24,000
Closed -$918K
UAN icon
1160
CVR Partners
UAN
$1.36B
– –
-100
Closed -$18K
URI icon
1161
United Rentals
URI
$67.2B
– –
-150
Closed -$15K
VGT icon
1162
Vanguard Information Technology ETF
VGT
$139B
$0 ﹤0.01%
72
– –
VRTS icon
1163
Virtus Investment Partners
VRTS
$1.06B
– –
-650
Closed -$137K
WAB icon
1164
Wabtec
WAB
$49.1B
– –
-300
Closed -$24K
INVX
1165
Innovex International
INVX
$1.96B
– –
-1,254
Closed -$136K
VIVS
1166
VivoSim Labs
VIVS
$1.2M
– –
-3
Closed -$5K
SAVE
1167
DELISTED
Spirit Airlines, Inc.
SAVE
– –
-2,386
Closed -$150K
HOLI
1168
DELISTED
Hollsys Automation Technologies INTERNATIONAL, LTD. COMMON (British Virgin Island)
HOLI
– –
-100
Closed -$2K
SPLK
1169
DELISTED
Splunk Inc
SPLK
– –
-41
Closed -$2K
ICPT
1170
DELISTED
Intercept Pharmaceuticals, Inc.
ICPT
– –
-270
Closed -$63K
TA
1171
DELISTED
TravelCenters of America LLC
TA
– –
0
– –
IVH
1172
DELISTED
Delaware Ivy High Income Opportunities Fund
IVH
– –
-500
Closed -$9K
RBCN
1173
DELISTED
Rubicon Technology, Inc.
RBCN
$0 ﹤0.01%
4
– –
DRE
1174
DELISTED
Duke Realty Corp.
DRE
$0 ﹤0.01%
41
– –
KRA
1175
DELISTED
Kraton Corporation
KRA
$0 ﹤0.01%
31
– –
45 46
47
48 49

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EL
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PGF
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SM
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BA
Bivin & Associates Ponca City, Oklahoma $93.1M AUM
HIH
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IRF
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FA
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CRCM
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B. Riley Wealth Management's Q3 2014 Portfolio in Review

As of Q3 2014, B. Riley Wealth Management held 1,244 positions worth $135M, down 13% from $154M the previous quarter. Its ten largest holdings account for 14% of the portfolio.

B. Riley Wealth Management withdrew a net $16.3M in Q3 2014, closing 141 positions and reducing 283 holdings. Its most notable exit was Textron, an estimated $918K position sold in full.

By sector, the portfolio is most concentrated in Energy at 13% of assets, up from 12% a quarter earlier, followed by Financials and Industrials.

Against the trend, B. Riley Wealth Management opened a new position in US Steel worth $863K.

  • B. Riley Wealth Management's largest Q3 2014 buy was US Steel: 22,050 shares worth $863K.
  • B. Riley Wealth Management added most to First Trust Consumer Discretionary AlphaDEX Fund in Q3 2014, an estimated $1.53M increase.
  • B. Riley Wealth Management's biggest Q3 2014 reduction was First Trust Utilities AlphaDEX Fund, cutting an estimated $1.22M.
  • B. Riley Wealth Management fully exited Textron in Q3 2014, selling an estimated $918K.
  • B. Riley Wealth Management's ten largest holdings make up 14% of its $135M portfolio in Q3 2014.
  • B. Riley Wealth Management opened 112 new positions and closed 141 in Q3 2014.
  • B. Riley Wealth Management's portfolio value fell 13% quarter-over-quarter to $135M.

Based on B. Riley Wealth Management's 13F filing for Q3 2014, filed 3 Oct 2014.